[Federal Register Volume 69, Number 63 (Thursday, April 1, 2004)]
[Notices]
[Pages 17195-17212]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 04-7269]


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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Substance Abuse and Mental Health Services Administration


Notice of Knowledge Dissemination Conference Grants Program 
Announcement (Short Title: SAMHSA Conference Grants) PA 05-001

    Authority: Sections 520A, 516 and 509 of the Public Health 
Service Act, as amended and subject to the availability of funds.

AGENCY: Substance Abuse and Mental Health Services Administration, HHS.

SUMMARY: The United States Department of Health and Human Services 
(HHS), Substance Abuse and Mental Health Services Administration's 
(SAMHSA) Center for Mental Health Services

[[Page 17196]]

(CMHS), Center for Substance Abuse Prevention (CSAP), and Center for 
Substance Abuse Treatment (CSAT) are accepting applications for 
Knowledge Dissemination Conference Grants (also known as SAMHSA 
Conference Grants). The purpose of the Conference Grant program is to 
disseminate knowledge about practices within the mental health services 
and substance abuse prevention and treatment fields and to integrate 
that knowledge into real-world practice as effectively and efficiently 
as possible.

DATES: SAMHSA anticipates that there will be two cycles of awards each 
year. Applications must be received by January 10 for the first review 
cycle and September 10 for the second review cycle. Applications are 
due by close of business on January 10 and September 10. If the receipt 
date falls on the weekend, it will be extended to the following Monday.

FOR FURTHER INFORMATION CONTACT: 
    For questions on mental health topics, contact: David Morrissette, 
DSW, Center for Mental Health Services/SAMHSA, 5600 Fishers Lane, Room 
11C-22, Rockville, MD 20857, (301) 443-3653, E-mail: 
[email protected].
    For questions on substance abuse treatment topics, contact: Kim 
Plavsic, Center for Substance Abuse Treatment/SAMHSA, 5515 Security 
Lane, Suite 740, Rockville, MD 20852, (301) 443-7916, E-mail: 
[email protected].
    For questions on substance abuse prevention topics, contact: Rosa 
I. Merello, Ph.D., Public Health Advisor, Center for Substance Abuse 
Prevention/SAMHSA, 5515 Security Lane, Suite 800, Rockville, MD 20852, 
Phone: (301) 443-7462, E-mail: [email protected].
    For questions on grants management issues, contact: Kathleen 
Sample, Office of Program Services, Grants Management Branch/SAMHSA, 
5600 Fishers Lane/Rockwall II, Room 630, Rockville, MD 20857, (301) 
443-9667, E-mail: [email protected].

SUPPLEMENTARY INFORMATION:

Department of Health and Human Services

Substance Abuse and Mental Health Services Administration

Knowledge Dissemination Conference Grants Program Announcement
(Short Title: SAMHSA Conference Grants)

[Announcement No. PA 05-001]

[Modification: reissuance of PA 03-002]

Catalogue of Federal Domestic Assistance (CFDA) No.: 93.243

    Authority: Sections 520A (Priority Mental Health Needs of 
Regional and National Significance), 516 (Priority Substance Abuse 
Prevention Needs of Regional and National Significance) and 509 
(Priority Substance Abuse Treatment Needs of Regional and National 
Significance) of the Public Health Service Act, as amended, and 
subject to the availability of funds
Key Dates

 
 
 
Application Deadline......................  Applications are due on the
                                             recurring dates of January
                                             10 and September 10 each
                                             year.
Intergovernmental Review..................  (E.O. 12372) Letters from
                                             State Single Point of
                                             Contact (SPOC) are due no
                                             later than 60 days after
                                             application deadline.
 

    *This program is being announced prior to the full annual 
appropriation for fiscal year (FY) 2005 for the Substance Abuse and 
Mental Health Services Administration's (SAMHSA) programs. 
Applications are invited based on the assumption that sufficient 
funds will be appropriated for FY 2005 to permit funding of a 
reasonable number of applications being hereby solicited. All 
applicants are reminded, however, that we cannot guarantee 
sufficient funds will be appropriated to permit SAMHSA to fund any 
applications. Questions regarding the status of the appropriation of 
funds should be directed to the Grants Management Officer listed 
under Contacts for Additional Information in this announcement.

Table of Contents

I. Funding Opportunity Description
    1. Introduction
    2. Expectations
    3. Required Activities
    4. Data and Performance Measurement
    5. Evaluation
II. Award Information
    1. Award Amount
    2. Funding Mechanism
III. Eligibility Information
    1. Eligible Applicants
    2. Cost-Sharing
    3. Other
IV. Application and Submission Information
    1. Address to Request Application Package
    2. Content and Form of Application Submission
    3. Submission Dates and Times
    4. Intergovernmental Review (E.O. 12372) Requirements
    5. Funding Restrictions
    6. Other Submission Requirements
V. Application Review Information
    1. Evaluation Criteria
    2. Review and Selection Process
VI. Award Administration Information
    1. Award Notices
    2. Administrative and National Policy Requirements
    3. Reporting Requirements
VII. Agency Contacts
Appendix A: CSAT's GPRA Requirements and Meeting Survey (Baseline 
and Follow-up) Forms for Conference Grants
Appendix B: CMHS Customer Satisfaction Survey
Appendix C: Checklist for Formatting Requirements and Screenout 
Criteria for SAMHSA Grant Applications
Appendix D: Glossary

I. Funding Opportunity Description

1. Introduction

    The Substance Abuse and Mental Health Services Administration 
(SAMHSA) Center for Mental Health Services (CMHS), Center for Substance 
Abuse Prevention (CSAP), and Center for Substance Abuse Treatment 
(CSAT) are accepting applications for SAMHSA Knowledge Dissemination 
Conference Grants (also referred to as SAMHSA Conference Grants). The 
purpose of the Conference Grant program is to disseminate knowledge 
about practices within the mental health services and substance abuse 
prevention and treatment fields and to integrate that knowledge into 
real-world practice as effectively and efficiently as possible. 
SAMHSA's conference grants are authorized by sections 520A, 516, and 
509 of the PHS Act.
    SAMHSA Centers (CMHS, CSAP, and CSAT) will provide support for up 
to 75 percent of the total direct costs of planned meetings and 
conferences. Grant awards range from $25,000 to a maximum of $50,000 
for a 12-month project period.

2. Expectations

    As the Federal agency charged with improving the quality and 
availability of substance abuse and mental health prevention, 
treatment, and rehabilitative services, SAMHSA has developed programs 
to put research findings into practice by bringing new science-based 
knowledge to community-based prevention, identification, and treatment 
of mental and addictive disorders. Conferences provide an expeditious 
and efficient method to disseminate knowledge to a wide audience and 
promote the transfer of knowledge into practice.
    Under this announcement, applications are invited for support of 
conferences related to substance abuse (including abuse of alcohol, 
tobacco, and illicit drugs) and mental illness prevention, early 
intervention, and treatment innovations and service delivery.
    A conference is a regional workshop or any other organized and 
formal meeting lasting 1 or more days where persons assemble to 
exchange information about the science and practice of substance abuse 
and/or mental health identification, treatment, and prevention. 
Conferences must be open to a broad constituency of interests

[[Page 17197]]

and skills that include providers, practitioners, researchers, 
advocates, consumers, family members, and the general public.
    Conferences that focus on a single audience, such as training 
sessions for volunteers or practitioners, or seminars for researchers, 
do not fit these requirements.
    SAMHSA, through its Centers, supports conferences that address the 
following programmatic priorities and principles:
    Programmatic Priorities:
    1. Co-occurring disorders.
    2. Substance abuse treatment capacity.
    3. Seclusion and restraint.
    4. Strategic prevention framework.
    5. Children and families.
    6. Mental health system transformation.
    7. Disaster readiness and response.
    8. Homelessness.
    9. Aging.
    10. HIV/AIDS and hepatitis.
    11. Criminal justice.
    Priority Principles:
    1. Science to services/evidence-based practices.
    2. Data for performance measurements and management.
    3. Collaboration with public and private partners.
    4. Recovery/reducing stigma and barriers to services.
    5. Cultural competency/eliminating disparities.
    6. Community and faith-based approaches.
    7. Trauma and violence (e.g., physical and sexual abuse).
    8. Financing strategies and cost-effectiveness.
    9. Rural and other specific settings.
    10. Workforce development.
    Each of the SAMHSA Centers maintains responsibility for and makes 
funding decisions regarding conferences in its respective areas of 
expertise:
2.1 Center for Mental Health Services
    The Center for Mental Health Services (CMHS) plays a pivotal role 
as an agent of change in the field of mental health, working in 
partnership with other Federal agencies, State and local mental health 
authorities, service providers, consumers of services, and their 
families. It is guiding a service system in transition, stimulating the 
capacity of its partners to improve and enhance mental health 
treatment, illness prevention, and support services, placing them 
within reach of all Americans in need. To this end, CMHS develops new 
strategies and highlights effective practices using an array of the 
latest research-based treatments and support services. The Center's 
national programs promote the integration of relevant, culturally 
appropriate community services, opening the door to a comprehensive 
service system for those who need continuing intervention. Such 
integrated services are especially important for children and 
adolescents with serious emotional disturbances and adults with serious 
mental illness, including those involved in the criminal justice 
system, those with co-occurring substance abuse disorders, and those 
who are homeless.
    In FY 2005, CMHS will reserve $200,000 in funds to support 
conferences related to the prevention of mental and behavioral 
disorders. Applications received September 10, 2004 and January 10, 
2005 will be considered for funding during the FY 2005 fiscal year. 
Examples of prevention related topics include:
     Early intervention for people with mental and 
behavioral disorders;
     Suicide prevention;
     Childhood trauma;
     Youth violence prevention;
     Women's issues;
     Rural mental health;
     Racial and ethnic disparities; and
     Emergency mental health services.
    Conference goals related to prevention topics may include any of 
the following:
     The exchange and dissemination knowledge of 
evidence-based programs/best practices guidelines;
     Development of strategies for effective 
partnerships and collaborations at the local, regional, national, and 
international levels;
     Development of a competent workforce; and
     Policy development and the synthesis of 
innovative ideas and concepts into effective system designs.
2.2 Center for Substance Abuse Prevention
    The mission of the Center for Substance Abuse Prevention (CSAP) is 
to bring effective substance abuse prevention to every community. That 
mission will be accomplished through the recently developed Strategic 
Prevention Framework, which incorporates SAMHSA's goals of 
Accountability, Capacity, and Effectiveness. The objectives of the 
Strategic Prevention Framework are to increase substance abuse 
prevention programming throughout the United States; to support the 
implementation of effective substance abuse prevention programs in the 
States and communities; and to promote the use of performance measures 
and evaluation tools by substance abuse prevention providers. Through 
the Strategic Prevention Framework, CSAP builds capacity within the 
States and the prevention field to promote resiliency and decrease risk 
factors in individuals, families and communities.
    The Strategic Prevention Framework incorporates a five step 
community development model: (1) Organize the community to profile 
needs, including community readiness; (2) mobilize the community and 
build the capacity to address needs and plans for sustainability; (3) 
develop the prevention action (evidence-based activities, programs, 
strategies, and policies); (4) implement the prevention plan; and (5) 
conduct ongoing evaluation for quality improvement and outcomes.
    Within this conceptual framework, CSAP provides leadership and 
support to the Nation's substance abuse prevention activities by 
bringing knowledge on effective substance abuse prevention to every 
community, and promoting the implementation of evidence-based substance 
abuse prevention practices to achieve the goals of reducing risk 
factors and enhancing protective factors. CSAP's efforts help to reduce 
the number of people that will ultimately need treatment for addiction 
by deterring individuals from ever using drugs, by delaying the age of 
onset, and intervening to keep them from increasing their drug use. 
Through these efforts, CSAP contributes to the overall national effort, 
as articulated in one of the three priorities of the National Drug 
Control Strategy, to reduce the current use of illegal drugs among 
those aged 12 years or older by 10 percent in 2 years and by 25 percent 
in 5 years. For this reason, CSAP is interested in disseminating 
knowledge about the applicability of evidence-based programs and 
practices to the substance abuse prevention field.
2.3 Center for Substance Abuse Treatment
    The Center for Substance Abuse Treatment (CSAT) was created by 
Congress to expand the availability of effective treatment and recovery 
services for alcohol and drug problems. This is reflected in CSAT's 
mission of improving the health of the nation by bringing effective 
alcohol and drug treatment to every community. CSAT works cooperatively 
across the private and public treatment spectrum to identify, develop, 
and support policies, approaches, and programs that enhance and expand 
treatment. CSAT's initiatives are based on services and the consensus 
of experts in the addiction treatment field that, for most individuals, 
treatment and recovery

[[Page 17198]]

work best in the context of a community-based coordinated system of 
comprehensive services designed to assure a continuum of support for 
recovery. CSAT supports the Nation's treatment infrastructure in 
providing an array of gender-specific and culturally appropriate 
services, evaluating the effectiveness of treatment and the delivery of 
services, and continually utilizing evaluation results to reformulate 
treatment, recovery, and service delivery approaches.
    In addition to SAMHSA priorities listed above, CSAT is particularly 
interested in conferences that focus on substance abuse treatment in 
relationship to: pharmacologic treatment of opioid addiction; emerging 
issues (e.g., OxyContin, methamphetamine, buprenorphine, etc.); 
workforce development; stigma reduction; employment of persons in 
recovery; financing; confidentiality/privacy; and mandated treatment.
2.4 Cultural Competence
    Providing quality substance abuse prevention, addiction treatment, 
and mental health services to people from different cultures is the 
cornerstone of SAMHSA's efforts to promote health among diverse 
populations. SAMHSA believes these services are most effective when 
provided with consideration for the culture, values, and traditions of 
the individuals and communities being served, taking into account 
issues of race/ethnicity, gender, age, language, sexual orientation, 
disability, and literacy.
    For these reasons, SAMHSA supports and upholds the concepts of 
cultural competence in the development and day-to-day implementation of 
all its programs. SAMHSA defines cultural competence as a set of 
behaviors, skills, attitudes, and policies that promote awareness, 
acceptance, and respect for differences among people. Cultural 
competence extends to continuing efforts, by both programs and 
individuals, to enhance their knowledge of other cultures, and to 
develop flexible models of service delivery that can be easily adapted 
to meet the evolving/emerging needs of diverse populations.
    Complete SAMHSA guidelines for cultural competence are available on 
SAMHSA's Web site (http://www.samhsa.gov, click on ``Grant 
Opportunities'' and choose the option for ``Useful Information for 
Grant Applicants''). For more information on cultural competence, see 
(1) The Surgeon General's Supplement, Mental Health: Culture, Race, and 
Ethnicity (DHHS, 2001); (2) Cultural Competence Standards in Managed 
Care Mental Health Services: Four Underserved/Under-represented Racial/
Ethnic Groups, 2000; (3) Cultural Issues in Substance Abuse Treatment 
(BKD 323). To obtain copies of the first and second articles, 
call the National Mental Health Information Center at (800) 789-2647, 
or visit the CMHS Web site at http://www.mentalhealth.org. To obtain a 
copy of the third article, call the National Clearinghouse for Alcohol 
and Drug Information (NCADI) at (800) 729-6686.
2.5 Family and Consumer Involvement
    SAMHSA believes that families and consumers contribute 
significantly to successful outcomes and must be appropriately involved 
in the conceptualization, planning, implementation, and evaluation of 
SAMHSA projects. Therefore, SAMHSA is committed to funding projects 
that are culturally competent, gender sensitive, age appropriate, and 
customer driven (family and consumer) in their approaches.
3. Required Activities
    As a condition of accepting a SAMHSA Conference Grant award and in 
conducting activities to achieve the purpose of this program, the 
recipient will be responsible for and must agree to the following 
requirements.
    1. Use SAMHSA's name only in factual publicity for the conference. 
SAMHSA involvement in the conference does not necessarily indicate 
support for the organizer's general policies, activities, products, or 
the content of speakers' presentations.
    2. Hold the conference in facilities that are fully accessible to 
the public as required by the Americans with Disabilities Act 
Accessibility Guidelines (ADAAG). Accessibility under ADAAG addresses 
accommodations for persons with sensory impairments as well as persons 
with physical disabilities or mobility limitations.
    3. Manage all activities related to program content (e.g., 
objectives, topics, attendees, session design, workshops, special 
exhibits, speakers' fees, agenda composition, and printing). These 
items may be developed in concert with assigned SAMHSA project 
personnel. SAMHSA and/or the pertinent Center shall have the 
opportunity to speak, exhibit, and/or distribute informational material 
at the conference, if appropriate. No registration fees will be charged 
to SAMHSA/Center staff.
    4. Provide draft copies of the agenda and proposed ancillary 
activities to SAMHSA for approval. All but 50 percent of the total 
funds awarded for the proposed conference will be initially restricted 
pending approval by SAMHSA of a full, final agenda. The remaining 50 
percent of funds will be released by letter to the grantee upon the 
approval of the final agenda. Because conference support by SAMHSA 
creates the appearance of SAMHSA co-sponsorship, there will be active 
participation by SAMHSA in the development and approval of those 
portions of the agenda supported by SAMHSA funds. SAMHSA funds will not 
be expended for non-approved portions of conferences. In addition, 
SAMHSA will reserve the right to approve or reject the content of the 
full agenda, press events, promotional materials (including press 
releases), speaker selection and site selection. SAMHSA reserves the 
right to terminate co-sponsorship if it does not concur with the final 
agenda.
    5. Determine and manage all promotional activities (e.g., title, 
logo, announcements, mailers, press, etc.). SAMHSA must review and 
approve any materials with reference to SAMHSA involvement or support.
    6. Manage all registration processes with participants, invitees, 
and registrants (e.g., travel, reservations, correspondence, conference 
materials and handouts, badges, registration procedures, etc.).
    7. Plan, negotiate, and manage conference site arrangements, 
including all audio-visual needs.
    8. Submit interim and final reports describing the conference, 
attendance, presentations, speakers, expenditures, and conference 
evaluation.
    9. Submit three copies of any publications resulting from the 
conference to the Grants Policy Officer (GPO) within 30 days of the 
date of publication.

4. Data and Performance Measurement

    The Government Performance and Results Act of 1993 (Pub. L. 103-62, 
or ``GPRA'') requires all Federal agencies to:
     Develop strategic plans that specify what they 
will accomplish over a 3 to 5-year period;
     Set performance targets annually related to 
their strategic plan; and
     Report annually on the degree to which the 
previous year's targets were met.
    The law further requires agencies to link their performance to 
their budgets. Agencies are expected to evaluate their programs 
regularly and to use results of these evaluations to explain their 
successes and failures.
    To meet these requirements, SAMHSA must collect performance data 
(i.e., ``GPRA data'') from grantees. You

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are required to report these GPRA data to SAMHSA on a timely basis so 
that performance results are available to support budgetary decisions. 
In your application, you must demonstrate your ability to collect and 
report on these measures.
    GPRA reporting requirements for SAMHSA's Conference Grants program 
are as follows:
     Measures for CSAP awardees are expected to 
include data such as number of attendees, satisfaction with the 
conference and achievement of conference goals. Applications are 
expected to include description of the measurements (items) to gather 
the data indicated above. Measures requirements will be described more 
fully in the terms and conditions applied to grants awarded by CSAP.
     Measures and instructions for CSAT awardees are 
specified in Appendix A of this program announcement.
     Measures and instructions for CMHS awardees are 
specified in Appendix B of this program announcement.
    Before grant award, a final agreement regarding data collection 
will be reached. The terms and conditions of the grant award will 
specify the data to be submitted and the schedule for submission. 
Grantees will be required to adhere to these terms and conditions of 
award.

5. Evaluation

    Grantees must evaluate their projects, and applicants are required 
to describe their evaluation plans in their applications.

II. Award Information

1. Award Amount

    In Fiscal Year (FY) 2005, SAMHSA's three Centers expect to make a 
total of $1,025,000 available 22-41 conference grants. SAMHSA/CMHS 
expects to make available $450,000 for 9-18 awards, with $200,000 
reserved to support conferences related to the prevention of mental and 
behavioral disorders. SAMHSA/CSAP expects to make available $75,000 for 
up to 3 awards. SAMHSA/CSAT expects to make available $500,000 for 10-
20 awards. Each of the three Centers will make available a minimum of 
$75,000 in FY 2006 and beyond, assuming funding is available.
    All awards will be for a maximum project period of 12 months.
    SAMHSA Centers (CMHS, CSAP, and CSAT) will provide support for up 
to 75 percent of the total direct costs of planned conferences. The 
maximum grant award is $50,000. Indirect costs are not allowed under 
this program. It is expected that 20-30 awards will be made each year 
under this announcement. Actual awards will depend on the availability 
of funds.

2. Funding Mechanism

    Awards will be made as grants.

III. Eligibility Information

1. Eligible Applicants

    Eligible applicants are domestic public and private nonprofit 
entities. For example, State, local or tribal governments; public or 
private universities and colleges; professional associations, voluntary 
organizations, self-help groups, consumer and provider services-
oriented constituency groups; community- and faith-based organizations; 
and tribal organizations may apply. Individuals are not eligible to 
receive grant support for a conference. The statutory authority for 
this program precludes grants to for-profit organizations.
    Support for only one conference from one SAMHSA Center (CMHS, CSAP, 
CSAT) may be requested in any single application. Only one application 
per receipt date may be submitted.

2. Cost-Sharing

    Cost sharing is required. SAMHSA will provide support for up to 75% 
of the total direct cost of the conference.

3. Other

    Applications must comply with the following requirements, or they 
will be screened out and will not be reviewed: Use of the PHS 5161-1 
application; application submission requirements in Section IV-3 of 
this document; and formatting requirements provided in Section IV-2.3 
of this document.

IV. Application and Submission Information

    (To ensure that you have met all submission requirements, a 
checklist is provided for your use in Appendix C of this document.)

1. Address to Request Application Package

    You may request a complete application kit by calling one of 
SAMHSA's national clearinghouses:
     For substance abuse prevention or treatment 
grants, call the National Clearinghouse for Alcohol and Drug 
Information (NCADI) at 1-800-729-6686.
     For mental health grants, call the National 
Mental Health Information Center at 1-800-789-CMHS (2647).
    You also may download the required documents from the SAMHSA Web 
site at http://www.samhsa.gov. Click on ``grant opportunities.''
    Additional materials available on this Web site include:
     A technical assistance manual for potential 
applicants;
     Standard terms and conditions for SAMHSA grants;
     Guidelines and policies that relate to SAMHSA 
grants (e.g., guidelines on cultural competence, consumer and family 
participation, and evaluation); and
     Enhanced instructions for completing the PHS 
5161-1 application.

2. Content Form of Application Submission

2.1 Required Documents
    SAMHSA application kits include the following documents:
     PHS 5161-1 (revised July 2000)--Includes the 
face page, budget forms, assurances, certification, and checklist. You 
must use the PHS 5161-1. Applications that are not submitted on the PHS 
5161-1 will be screened out and will not be reviewed.
     Program Announcement (PA)--Provides specific 
information about the availability of funds along with instructions for 
completing the grant application. This document is the PA. The PA is 
available on the SAMHSA Web site (http://www.samhsa.gov). A synopsis of 
the PA is available on the Federal grants Web site (http://www.grants.gov) and will be published in the Federal Register.
    You must use both documents in completing your application.
2.2 Required Application Components
    To ensure equitable treatment of all applications, applications 
must be complete. In order for your application to be complete, it must 
include the required ten application components (Face Page, Abstract, 
Table of Contents, Budget Form, Project Narrative and Supporting 
Documentation, Appendices, Assurances, Certifications, Disclosure of 
Lobbying Activities, and Checklist).
     Face Page--Use Standard Form (SF) 424, which is 
part of the PHS 5161-1.

    Note: Beginning October 1, 2003, applicants will need to provide 
a Dun and Bradstreet (DUNS) number to apply for a grant or 
cooperative agreement from the Federal Government. SAMHSA applicants 
will be required to provide their DUNS number on the face page of 
the application. Obtaining a DUNS number is easy and there is no 
charge. To obtain a DUNS number, access the Dun and Bradstreet Web 
site at http://www.dunandbradstreet.com or call 1-866-705-5711. To 
expedite the process, let Dun and Bradstreet know that you are a

[[Page 17200]]

public/private nonprofit organization getting ready to submit a 
Federal grant application.

     Abstract--Your total abstract should not be 
longer than 35 lines. In the first five lines or less of your abstract, 
write a summary of your project (including the date and location of the 
proposed conference) that can be used, if your project is funded, in 
publications, reporting to Congress, or press releases.
     Table of Contents--Include page numbers for each 
of the major sections of your application and for each appendix.
     Budget Form--Use SF 424A, which is part of the 
5161-1. Fill out Sections B, C, and E of the SF 424A.
     Project Narrative and Supporting Documentation--
The Project Narrative describes your project. It consists of Sections A 
through D. These sections in total may not be longer than 25 pages. 
More detailed instructions for completing each section of the Project 
Narrative are provided in ``Section V--Application Review Information'' 
of this document.
    The Supporting Documentation provides additional information 
necessary for the review of your application. This supporting 
documentation should be provided immediately following your Project 
Narrative in Sections E through H. There are no page limits for these 
sections, except for Section F, Biographical Sketches/Job Descriptions.
    Section E--Budget Justification, Existing Resources, Other Support.
    You must provide a line item budget and specific justification for 
the project's direct costs. (Note that for this grant program there 
will be no future years; the project duration is 12 months only.) For 
contractual costs, provide a similar yearly breakdown and justification 
for ALL costs.
    Specify all resources needed to accomplish the project that the 
project will have access to, either through the grant or, as 
appropriate, through other resources.
    (1) Personnel: Itemize and prorate salary for professional and 
nonprofessional staff for the amount of time spent on the project.
    (2) Fringe Benefits: Itemization may include only funds in 
proportion to the amount of time or effort employees devote to the 
project, provided that such costs are incurred under formally 
established and consistently applied policies of the organization.
    (3) Equipment: Grant funds may be used only for rental of necessary 
equipment; funds may not be used for the purchase of equipment. Itemize 
rental costs, projection, public address systems, exhibits, phones, 
etc.
    (4) Supplies: Grant funds may be used for the purchase of supplies 
necessary for the conference, provided the supplies are received and 
used during the project period. Itemize stationery, mailing costs, etc.
    (5) Travel: Funds may be used for the travel of staff, speakers, 
participants, and attendees if identified in the application and 
approved at the time of award. Proposed per diem or subsistence 
allowances must be reasonable and will be limited to the days of 
attendance at the conference plus the actual travel time required to 
reach the conference location by the most direct route available. Where 
meals and/or lodgings are furnished without charge or at a nominal cost 
(e.g., as part of the registration fee), the proposed per diem or 
subsistence allowance will be reduced to take this into consideration. 
Transportation costs for attendees and participants at the conference 
may not exceed economy class airfares. Grant funds may not be used to 
pay per diem or expenses other than local mileage for local 
participants in the conference.
    (6) Meals: Meals are allowable if justified as an integral part of 
the program (e.g., working lunch when speaker is present). Breaks, 
snacks, breakfast, dessert receptions, etc., are not allowable.
    (7) Registration Fees: Registration fees may be paid from grant 
funds, provided such fees cover only those costs otherwise properly 
chargeable to the grant.
    (8) Publication Costs: Grant funds may be used to cover the costs 
of publishing the conference product (proceedings, manual, monograph, 
report).
    (9) Consultant Services: Costs for consultant fees are allowed, 
including travel and supporting costs (per diem, or where applicable, 
subsistence).
    (10) Speakers' Fees: Costs for speakers' fees for services rendered 
are allowed. However, honoraria (non-speaker) or other payments given 
for the purpose of conferring distinction, or to symbolize respect or 
esteem, may not be paid from grant funds.
    (11) Conference Services: Grant funds may be used for recordings of 
proceedings, editorial services, simultaneous translation, etc., and 
subsequent transcriptions.
    (12) All Other Expenses: Itemize costs for printing programs, 
notices, badges, signs, etc., and rental of conference space.
    (13) Other Support: ``Other Support'' refers to all current or 
pending funds that will be used to plan for, conduct, and evaluate the 
conference, related to this application. Other support can include 
registration fees, contributions from any organizations or persons, and 
in-kind services. Applicant organizations are reminded of the necessity 
to provide full and reliable information regarding ``other support,'' 
i.e., all Federal and non-Federal active or pending support. For your 
organization and key organizations that are collaborating with you in 
this proposed project, list all currently active support and any 
applications/proposals pending review or funding that relate to the 
project. If there are none, state ``none.'' For all active and pending 
support listed, also provide the following information:

--Source of support (including identifying number and title).
--Dates of entire project period.
--Annual direct costs supported/requested.
--Brief description of the project.
--If the project overlaps, duplicates, or is being supplemented by the 
present application, delineate and justify the nature and extent of any 
programmatic and/or budgetary overlaps.

    Section F--Biographical Sketches and Job Descriptions.

--Include a biographical sketch for the Project Director and other key 
positions. Each sketch should be 2 pages or less. If the person has not 
been hired, include a letter of commitment from the individual with a 
current biographical sketch.
--Include job descriptions for key personnel. Job descriptions should 
be no longer than 1 page each.
--Sample sketches and job descriptions are listed on page 22, Item 6 in 
the Program Narrative section of the PHS 5161-1.

    Section G--Literature Citations. This section must contain complete 
citations, including titles and all authors, for any literature you 
cite in your application.
    Section H--Confidentiality and SAMHSA Participant Protection/Human 
Subjects. Instructions for completing Section H of your application are 
provided below in Section IV-2.4 of this document.
     Appendices 1 through 3--Do not use more than 30 
pages (excluding data collection instruments and interview protocols) 
for the appendices. Do not use appendices to extend or replace any of 
the sections of the Project Narrative. Reviewers will not consider them 
if you do.


[[Page 17201]]


--Appendix 1: Letters of Collaboration, Support, and/or Agreement to 
Participate in the Conference.
--Appendix 2: Data Collection Instruments/Interview Protocols.
--Appendix 3: Sample Consent Forms.

     Assurances--Non-Constructions programs. Use 
Standard Form 424B found in PHS 5161-1.
     Certifications--Use the ``Certifications'' forms 
found in PHS 5161-1.
     Disclosure of Lobbying Activities--Use Standard 
Form LLL found in the PHS 5161-1. Federal law prohibits the use of 
appropriated funds for publicity or propaganda purposes, or for the 
preparation, distribution, or use of the information designed to 
support or defeat legislation pending before the Congress or State 
legislatures. This includes ``grass roots'' lobbying, which consists of 
appeals to members of the public suggesting that they contact their 
elected representatives to indicate their support for or opposition to 
pending legislation or to urge those representatives to vote in a 
particular way.
     Checklist--Use the Checklist found in PHS 5161-
1. The Checklist ensures that you have obtained the proper signatures, 
assurances and certifications and is the last page of your application.
2.3 Application Formatting Requirements
    Applicants also must comply with the following basic application 
requirements. Applications that do not comply with these requirements 
will be screened out and will not be reviewed.
     Information provided must be sufficient for 
review.
     Text must be legible.
     Type size in the Project Narrative cannot exceed 
an average of 15 characters per inch, as measured on the physical page. 
(Type size in charts, tables, graphs, and footnotes will not be 
considered in determining compliance.)
     Text in the Project Narrative cannot exceed 6 
lines per vertical inch.
     Paper must be white paper and 8.5 inches by 11.0 
inches in size.
     To ensure equity among applications, the amount 
of space allowed for the Project Narrative cannot be exceeded.
     Applications would meet this requirement by 
using all margins (left, right, top, bottom) of at least one inch each, 
and adhering to the 25-page limit for the Project Narrative.
     Should an application not conform to these 
margin or page limits, SAMHSA will use the following method to 
determine compliance: The total area of the Project Narrative 
(excluding margins, but including charts, tables, graphs and footnotes) 
cannot exceed 58.5 square inches multiplied by 25. This number 
represents the full page less margins, multiplied by the total number 
of allowed pages.
     Space will be measured on the physical page. 
Space left blank within the Project Narrative (excluding margins) is 
considered part of the Project Narrative, in determining compliance.
     The 30-page limit for Appendices 1 through 3 
cannot be exceeded.
    To facilitate review of your application, follow these additional 
guidelines. Failure to adhere to the following guidelines will not, in 
itself, result in your application being screened out and returned 
without review. However, following these guidelines will help reviewers 
to consider your application.
     Pages should be typed single-spaced with one 
column per page.
     Pages should not have printing on both sides.
     Please use black ink and number pages 
consecutively from beginning to end so that information can be located 
easily during review of the application. The cover page should be page 
1, the abstract page should be page 2, and the table of contents page 
should be page 3. Appendices should be labeled and separated from the 
Project Narrative and budget section, and the pages should be numbered 
to continue the sequence.
     Send the original application and two copies to 
the mailing address in Section IV-6.1 of this document. Please do not 
use staples, paper clips, and fasteners. Nothing should be attached, 
stapled, folded, or pasted. Do not use heavy or lightweight paper or 
any material that cannot be copied using automatic copying machines. 
Odd-sized and oversized attachments such as posters will not be copied 
or sent to reviewers. Do not include videotapes, audiotapes, or CD-
ROMs.
2.4 SAMHSA Confidentiality and Participant Protection Requirements and 
Protection of Human Subjects Regulations
    You must describe your procedures relating to Confidentiality, 
Participant Protection and the Protection of Human Subjects Regulations 
in Section H of your application, using the guidelines provided below. 
Problems with confidentiality, participant protection, and protection 
of human subjects identified during peer review of your application may 
result in the delay of funding.
Confidentiality and Participant Protection
    All applicants must address each of the following elements relating 
to confidentiality and participant protection. You must describe how 
you will address these requirements or indicate why they do not apply.
    In completing this section of your application, limit the 
discussion of participant protection to the conference itself and its 
evaluation process.
    Participation in the conferences may expose some presenters and 
attendees to potential risks that come from disclosing personal 
information or raising uncomfortable issues while discussing mental 
health and/or substance abuse diagnosis, treatment, or prevention 
issues. Consumers of these services are particularly vulnerable to the 
loss of privacy regarding their consumer status.
Confidentiality and Participant Protection
    All applicants must address each of the following elements relating 
to confidentiality and participant protection. You must describe how 
you will address these requirements.
    (1) Protect Clients and Staff from Potential Risks:
     Identify and describe any foreseeable physical, 
medical, psychological, social, and legal risks or potential adverse 
effects as a result of the project itself or any data collection 
activity.
     Describe the procedures you will follow to 
minimize or protect participants against potential risks, including 
risks to confidentiality.
     Identify plans to provide guidance and 
assistance in the event there are adverse effects to participants.
     Where appropriate, describe alternative 
treatments and procedures that may be beneficial to the participants. 
If you choose not to use these other beneficial treatments, provide the 
reasons for not using them.
    (2) Fair Selection of Participants:
     Describe the target population(s) for the 
proposed project. Include age, gender, and racial/ethnic background and 
note if the population includes homeless youth, foster children, 
children of substance abusers, pregnant women, or other targeted 
groups.
     Explain the reasons for including groups of 
pregnant women, children, people with mental disabilities, people in 
institutions, prisoners, and individuals who are likely to be 
particularly vulnerable to HIV/AIDS.
     Explain the reasons for including or excluding 
participants.

[[Page 17202]]

     Explain how you will recruit and select 
participants. Identify who will select participants.
    (3) Absence of Coercion:
     Explain if participation in the project is 
voluntary or required. Identify possible reasons why participation is 
required, for example, court orders requiring people to participate in 
a program.
     If you plan to compensate participants, state 
how participants will be awarded incentives (e.g., money, gifts, etc.).
     State how volunteer participants will be told 
that they may receive services intervention even if they do not 
participate in or complete the data collection component of the 
project.
    (4) Data Collection:
     Identify from whom you will collect data (e.g., 
from participants themselves, family members, teachers, others). 
Describe the data collection procedures and specify the sources for 
obtaining data (e.g., school records, interviews, psychological 
assessments, questionnaires, observation, or other sources). Where data 
are to be collected through observational techniques, questionnaires, 
interviews, or other direct means, describe the data collection 
setting.
     Identify what type of specimens (e.g., urine, 
blood) will be used, if any. State if the material will be used just 
for evaluation or if other use(s) will be made. Also, if needed, 
describe how the material will be monitored to ensure the safety of 
participants.
     Provide in Appendix 2, ``Data Collection 
Instruments/Interview Protocols,'' copies of all available data 
collection instruments and interview protocols that you plan to use.
    (5) Privacy and Confidentiality:
     Explain how you will ensure privacy and 
confidentiality. Include who will collect data and how it will be 
collected.
     Describe:

--How you will use data collection instruments.
--Where data will be stored.
--Who will or will not have access to information.
--How the identity of participants will be kept private, for example, 
through the use of a coding system on data records, limiting access to 
records, or storing identifiers separately from data.

    Note: If applicable, grantees must agree to maintain the 
confidentiality of alcohol and drug abuse client records according 
to the provisions of Title 42 of the Code of Federal Regulations, 
Part 2.

    (6) Adequate Consent Procedures:
     List what information will be given to people 
who participate in the project. Include the type and purpose of their 
participation. Identify the data that will be collected, how the data 
will be used and how you will keep the data private.
     State:

--Whether or not their participation is voluntary.
--Their right to leave the project at any time without problems.
--Possible risks from participation in the project.
--Plans to protect clients from these risks.
--Explain how you will get consent for youth, the elderly, people with 
limited reading skills, and people who do not use English as their 
first language.

    Note: If the project poses potential physical, medical, 
psychological, legal, social or other risks, you must obtain written 
informed consent.

     Indicate if you will obtain informed consent 
from participants or assent from minors along with consent from their 
parents or legal guardians. Describe how the consent will be 
documented. For example: Will you read the consent forms? Will you ask 
prospective participants questions to be sure they understand the 
forms? Will you give them copies of what they sign?
     Include, as appropriate, sample consent forms 
that provide for: (1) Informed consent for participation in service 
intervention; (2) informed consent for participation in the data 
collection component of the project; and (3) informed consent for the 
exchange (releasing or requesting) of confidential information. The 
sample forms must be included in Appendix 3, ``Sample Consent Forms'', 
of your application. If needed, give English translations.

    Note: Never imply that the participant waives or appears to 
waive any legal rights, may not end involvement with the project, or 
releases your project or its agents from liability for negligence.

     Describe if separate consents will be obtained 
for different stages or parts of the project. For example, will they be 
needed for both participant protection in treatment intervention and 
for the collection and use of data?
     Additionally, if other consents (e.g., consents 
to release information to others or gather information from others) 
will be used in your project, provide a description of the consents. 
Will individuals who do not consent to having individually identifiable 
data collected for evaluation purposes be allowed to participate in the 
project?
    (7) Risk/Benefit Discussion:
     Discuss why the risks are reasonable compared to 
expected benefits and importance of the knowledge from the project.
Protection of Human Subjects Regulations
    Depending on the evaluation design you propose in your application, 
you may have to comply with the Protection of Human Subjects 
Regulations (45 CFR 46).
    Applicants whose projects must comply with the Protection of Human 
Subjects Regulations must describe the process for obtaining 
Institutional Review Board (IRB) approval fully in their applications. 
While IRB approval is not required at the time of grant award, these 
applicants will be required, as a condition of award, to provide the 
documentation that an Assurance of Compliance is on file with the 
Office for Human Research Protections (OHRP) and that IRB approval has 
been received prior to enrolling any clients in the proposed project.
    Additional information about Protection of Human Subjects 
Regulations can be obtained on the Web at http://ohrp.osophs.dhhs.gov. 
You may also contact OHRP by e-mail ([email protected]) or by phone 
(301-496-7005).

3. Submission Dates and Times

    SAMHSA anticipates that there will be two cycles of awards each 
year. Applications must be received by January 10 for the first review 
cycle and September 10 for the second review cycle. Applications are 
due by close of business on January 10 and September 10. If the receipt 
date falls on the weekend, it will be extended to the following Monday. 
Your application must be received by the application deadline. 
Applications sent through postal mail and received after this date must 
have a proof-of-mailing date from the carrier dated at least 1 week 
prior to the due date. Private metered postmarks are not acceptable as 
proof of timely mailing.
    Applicants are urged to apply for funding 1 year in advance of the 
planned conference.
    You will be notified by postal mail that your application has been 
received.
    Applications not received by the application deadline or not 
postmarked by a week prior to the application deadline will be screened 
out and will not be reviewed.

[[Page 17203]]

4. Intergovernmental Review (E.O. 12372) Requirements

    Executive Order 12372, as implemented through Department of Health 
and Human Services (DHHS) regulation at 45 CFR part 100, sets up a 
system for State and local review of applications for Federal financial 
assistance. A current listing of State Single Points of Contact (SPOCs) 
is included in the application kit and can be downloaded from the 
Office of Management and Budget (OMB) Web site at http://www.whitehouse.gov/omb/grants/spoc.html.
     Check the list to determine whether your State 
participates in this program. You do not need to do this if you are a 
federally recognized Indian tribal government.
     If your State participates, contact your SPOC as 
early as possible to alert him/her to the prospective application(s) 
and to receive any necessary instructions on the State's review 
process.
     For proposed projects serving more than one 
State, you are advised to contact the SPOC of each affiliated State.
    The SPOC should send any State review process recommendations to 
the following address within 60 days of the application deadline: 
Substance Abuse and Mental Health Services Administration, Office of 
Program Services, Review Branch, 5600 Fishers Lane, Room 17-89, 
Rockville, MD 20857, ATTN: SPOC--Funding Announcement No. PA 05-001.

5. Funding Limitations/Restrictions

    Cost principles describing allowable and unallowable expenditures 
for Federal grantees, including SAMHSA grantees, are provided in the 
following documents:
     Institutions of Higher Education: OMB Circular 
A-21.
     State and Local Governments: OMB Circular A-87.
     Nonprofit Organizations: OMB Circular A-122.
     Appendix E Hospitals: 45 CFR part 74.
    SAMHSA Centers (CMHS, CSAP, and CSAT) will provide support for up 
to 75 percent of the total direct costs of planned conferences.
    The maximum grant award is $50,000.

6. Other Submission Requirements

6.1 Where To Send Applications
    Send applications to the following address: Substance Abuse and 
Mental Health Services Administration, Office of Program Services, 
Review Branch, 5600 Fishers Lane, Room 17-89, Rockville, MD 20857.
    Be sure to include ``SAMHSA Conference Grants--PA 05-001'' and the 
acronym for the Center (either CMHS, CSAP, or CSAT) to which you are 
applying in item number 10 on the face page of the application. If you 
require a phone number for delivery, you may use (301) 443-4266.
6.2 How To Send Applications
    Mail an original application and 2 copies (including appendices) to 
the mailing address provided above. The original and copies must not be 
bound. Do not use staples, paper clips, or fasteners. Nothing should be 
attached, stapled, folded, or pasted.
    You must use a recognized commercial or governmental carrier. Hand 
carried applications will not be accepted. Faxed or e-mailed 
applications will not be accepted.

V. Application Review Information

1. Evaluation Criteria

    Your application will be reviewed and scored against the 
requirements listed below for developing the Project Narrative 
(Sections A-D). These sections describe what you intend to do with your 
project.
     In developing the Project Narrative section of 
your application, use these instructions, which have been tailored to 
this program. These are to be used instead of the ``Program Narrative'' 
instructions found in the PHS 5161-1.
     Be sure to provide complete references for any 
literature cited in your Project Narrative. These references should be 
provided in Section G of the Supporting Documentation.
     You must use the four sections/headings listed 
below in developing your Project Narrative. Be sure to place the 
required information in the correct section, or it will not be 
considered. Your application will be scored according to how well you 
address the requirements for each section.
     Reviewers will be looking for evidence of 
cultural competence in each section of the Project Narrative. Points 
will be assigned based on how well you address the cultural competence 
aspects of the evaluation criteria. SAMHSA's guidelines for cultural 
competence can be found on the SAMHSA Web site at http://www.samhsa.gov. Click on ``Grant Opportunities.''
     The Supporting Documentation you provide in 
Sections E-H and Appendices 1-3 will be considered by reviewers in 
assessing your response, along with the material in the Project 
Narrative.
     The number of points after each heading below is 
the maximum number of points a review committee may assign to that 
section of your Project Narrative. Bullet statements in each section do 
not have points assigned to them. They are provided to invite the 
attention of applicants and reviewers to important areas within each 
section.
Section A: Potential Significance of the Proposed Project (35 points)
     Present a brief literature review on the topic 
area and describe how your conference represents knowledge in the 
field(s).
     Describe the value of the conference to advance 
the field of substance abuse and/or mental health prevention, 
treatment, and rehabilitative services, particularly in reference to 
culturally and racially diverse populations.
     Describe the relevance of the proposed project 
to the SAMHSA Programmatic Priorities and Priority Principles found in 
the Expectations section of this announcement.
Section B: Merit and Appropriateness of the Project Plan (30 points)
     Identify and justify overall goals, objectives, 
and approach of the conference.
     Discuss the feasibility of the conference 
agenda.
     Describe the collaboration in the planning, 
implementation, and evaluation of the conference among all of the 
following constituencies: consumers, advocates, researchers, and 
providers. Attach letters of support and/or agreement to participate in 
the conference in Appendix 1. Identify any cash or in-kind 
contributions that will be made to this project.
     Explain how your conference will address, 
develop, and/or improve the cultural awareness and/or competence of 
attendees.
     List plans for speakers, presenters, and 
participants. Attach letters of collaboration, support, and/or 
agreement to participate in the conference in Appendix 1.
     Describe plans for development and dissemination 
of conference product(s) (e.g., publications, reports).
Section C: Management Plan, Staffing, Project Organization and 
Resources (25 points)
     List any previous conferences you have conducted 
or coordinated, include dates, topics, attendance, and products. Also 
indicate if you have not conducted or coordinated conferences before.
     Describe the administrative and organizational 
structure that will facilitate goals, objectives, and approach of the 
conference.
     Briefly describe capability/experience of the 
proposed conference

[[Page 17204]]

director and other key personnel. Attach their resumes in Section F 
Biographical Sketches and Job Descriptions.
     Describe how competence in culture, language, 
and gender issues is evidenced in the staffing, organization, and 
products of the conference.
Section D: Appropriateness of the Evaluation Plan (10 points)
     Describe your plan for evaluation of conference 
planning, content, and outcome.
     Describe how the proposed evaluation (for 
instance, the methods and instruments used) is appropriate to the 
culture and values of the attendees, as well as how it ensures that the 
interpretation of findings will be accurate.
     If you are applying for a conference grant from 
CSAP, state your agreement to comply with the GPRA reporting 
requirements to be provided in the terms and conditions of the grant 
awards from CSAP. If you are applying for a conference grant from CMHS, 
state your agreement to comply with the GPRA reporting requirements 
provided in Appendix B. If applying for a conference grant from CSAT, 
discuss how you will comply with the GPRA requirements (including a 30-
day follow up with a minimum of 80% of all baseline participants 
followed up) specified in Appendix A of this document).
    In addition applicants should describe any prior experience in 
conducting follow-up surveys, use and effect (if any) of incentives in 
the prior activities, and the specific methods (including incentives) 
to achieve an 80% response rate for the follow-up surveys.

    Note: Although the budget for the proposed project is not a 
review criterion, the Review Group will be asked to comment on the 
appropriateness of the budget after the merits of the application 
have been considered.

2. Review and Selection Process

    SAMHSA applications are peer-reviewed according to the review 
criteria listed above. For those programs where the individual award is 
over $100,000, applications must also be reviewed by the appropriate 
National Advisory Council.
    Each of the SAMHSA Centers maintains responsibility for and makes 
funding decisions regarding conferences in its respective areas of 
expertise: services for treatment and prevention of mental illness are 
made by CMHS, substance abuse prevention are made by CSAP, and 
substance abuse treatment are made by CSAT. The Centers may combine 
funds to support conferences that simultaneously address mental health 
and substance abuse prevention and treatment issues.
    Decisions to fund a grant are based on:
     Availability of funds.
     Strengths and weaknesses of the application as 
determined by a peer review committee.
     Balance among target population/issue and 
program size.
     After applying the aforementioned criteria, the 
following method for breaking ties: When funds are not available to 
fund all applications with identical scores, SAMHSA will make award 
decisions based on the application(s) that received the greatest number 
of points by peer reviewers on the evaluation criterion in Section V-1 
with the highest number of possible points [Potential Significance of 
the Proposed Project-35 points]. Should a tie still exist, the 
evaluation criterion with the next highest possible point value will be 
used, continuing sequentially to the evaluation criterion with the 
lowest possible point value, should that be necessary to break all 
ties. If an evaluation criterion to be used for this purpose has the 
same number of possible points as another evaluation criterion, the 
criterion listed first in Section V-1 will be used first.
    An applicant is eligible to receive funding from a particular 
Center (CMHS, CSAP, or CSAT) for only one conference annually.
    Additional award criteria may be applied in future years to ensure 
responsive distribution of conference topics, cultural competence, and/
or geographical locations. Funding considerations, when applicable, 
will be announced annually at SAMHSA's Web site: http://www.samhsa.gov/grants/.

VI. Award Administration Information

1. Award Notices

    After your application has been reviewed, you will receive a letter 
from SAMHSA through postal mail that describes the general results of 
the review, including the score that your application received.
    If you are approved for funding, you will receive an additional 
notice, the Notice of Grant Award, signed by SAMHSA's Grants Management 
Officer. The Notice of Grant Award is the sole obligating document that 
allows the grantee to receive Federal funding for work on the grant 
project. It is sent by postal mail and is addressed to the contact 
person listed on the face page of the application.
    If you are not funded, you can re-apply if there is another receipt 
date for the program.

2. Administrative and National Policy Requirements

     You must comply with all terms and conditions of 
the grant award. SAMHSA's standard terms and conditions are available 
on the SAMHSA Web site (http://www.samhsa.gov/grants/2004/useful_info.asp).
     You will be held accountable for the information 
provided in the application. Failure to meet stated goals and 
objectives may result in suspension or termination of the grant award.
     In an effort to improve access to funding 
opportunities for applicants, SAMHSA is participating in the U.S. 
Department of Health and Human Services ``Survey on Ensuring Equal 
Opportunity for Applicants.'' This survey is included in the 
application kit for SAMHSA grants. Applicants are encouraged to 
complete the survey and return it, using the instructions provided on 
the survey form.

3. Reporting Requirements

3.1 Progress and Financial Reports
     Grantees must provide a final report. The final 
report must describe the conference, attendance, presentation, 
speakers, expenditures, and the conference evaluation must be 
submitted.
     Grantees must provide a final financial status 
reports. This report may be included as separate section of the final 
progress report or can be a separate document.
     SAMHSA will provide guidelines and requirements 
for these reports to grantees at the time of award. SAMHSA staff will 
use the information contained in the reports to determine the grantee's 
progress toward meeting its goals.
3.2 Government Performance and Results Act
    The Government Performance and Results Act (GPRA) mandates 
accountability and performance-based management by Federal agencies. 
The performance requirements for SAMHSA's Conference Grants program are 
described in Section I-B under ``Data and Performance Measurement'' and 
listed in Appendices A, B, and C of this document.
3.3 Publications
    If you are funded under this grant program, you are required to 
notify the Government Project Officer (GPO) and SAMHSA's Publications 
Clearance Officer (301-443-8596) of any materials based on the SAMHSA-
funded project that are accepted for publication.

[[Page 17205]]

    In addition, SAMHSA requests that grantees:
     Provide the GPO and SAMHSA Publications 
Clearance Officer with advance copies of publications.
     Include acknowledgment of the SAMHSA grant 
program as the source of funding for the project.
     Include a disclaimer stating that the views and 
opinions contained in the publication do not necessarily reflect those 
of SAMHSA or the U.S. Department of Health and Human Services, and 
should not be construed as such.
    SAMHSA reserves the right to issue a press release about any 
publication deemed by SAMHSA to contain information of program or 
policy significance to the substance abuse treatment/substance abuse 
prevention/mental health services community.

VII. Agency Contacts

    For questions on mental health topics, contact: David Morrissette, 
DSW, Center for Mental Health Services/SAMHSA, 5600 Fishers Lane, Room 
11C-22, Rockville, MD 20857, (301) 443-3653. E-mail: 
[email protected].
    For questions on substance abuse treatment topics, contact: Kim 
Plavsic, Center for Substance Abuse Treatment/SAMHSA, 5515 Security 
Lane, Suite 740, Rockville, MD 20852, (301) 443-7916, E-mail: 
[email protected].
    For questions on substance abuse prevention topics, contact: Rosa 
I. Merello, Ph.D., Public Health Advisor, Center for Substance Abuse 
Prevention/SAMHSA, 5515 Security Lane, Suite 800, Rockville, MD 20852, 
Phone: (301) 443-7462, Email: [email protected].
    For questions on grants management issues, contact: Kathleen 
Sample, Office of Program Services, Grants Management Branch/SAMHSA, 
5600 Fishers Lane/Rockwall II, Room 630, Rockville, MD 20857, (301) 
443-9667, E-mail: [email protected].

Appendix A: CSAT's GPRA Requirements and Meeting Survey (Baseline and 
Follow-Up) Forms

    The GPRA measures for CSAT Conference grantees are as follows:
     Number of events.
     Number of participants.
     Satisfaction with the events.
     Utilization of material and information to 
make a change in their practice as a result of the event. Grantees 
are expected to collect baseline (end of the event) GPRA data on all 
participants at Knowledge Application (KA) events (meetings). In 
addition, the grantee is expected to conduct a 30-day follow up to 
the events with a minimum 80% of all baseline participants followed 
up. Applicants should consider this requirement when preparing the 
evaluation budget section of the application.
    Your experience may indicate that the use of modest incentives 
will be necessary to achieve the required 80% response rate for each 
client follow up interview.
    CSAT's GPRA Meeting Survey forms are included as part of this 
appendix. These forms, as well as CSAT's GPRA Strategy are also 
available on the Web at the following address: http://www.csat-gpra.samhsa.gov. Click on General Information for the GPRA Strategy. 
For the Surveys, click on Data Collection Tools/Instructions, click 
on Knowledge Application Program, then click on Data Collection 
Tools.
    CSAT will provide usernames and passwords to grantees as well as 
data collection and follow-up training. All grantees must collect 
GPRA data and enter the data via the Web site.
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Appendix C: Checklist for Formatting Requirements and Screenout 
Criteria for SAMHSA Grant Applications

    SAMHSA's goal is to review all applications submitted for grant 
funding. However, this goal must be balanced against SAMHSA's 
obligation to ensure equitable treatment of applications. For this 
reason, SAMHSA has established certain formatting requirements for 
its applications. If you do not adhere to these requirements, your 
application will be screened out and returned to you without review. 
In addition to these formatting requirements, programmatic 
requirements (e.g., relating to eligibility) may be stated in the 
specific funding announcement. Please check the entire funding 
announcement before preparing your application.

--Use the PHS 5161-1 application.
--Applications must be received by the application deadline. 
Applications received after this date must have a proof of mailing 
date from the carrier dated at least 1 week prior to the due date. 
Private metered postmarks are not acceptable as proof of timely 
mailing. Applications not received by the application deadline or 
not postmarked at least 1 week prior to the application deadline 
will not be reviewed.
--Information provided must be sufficient for review.
--Text must be legible.

     Type size in the Project Narrative cannot 
exceed an average of 15 characters per inch, as measured on the 
physical page. (Type size in charts, tables, graphs, and footnotes 
will not be considered in determining compliance.)
     Text in the Project Narrative cannot exceed 6 
lines per vertical inch.
--Paper must be white paper and 8.5 inches by 11.0 inches in size.
--To ensure equity among applications, the amount of space allowed 
for the Project Narrative cannot be exceeded.

     Applications would meet this requirement by 
using all margins (left, right, top, bottom) of at least one inch 
each, and adhering to the page limit for the Project Narrative 
stated in the specific funding announcement.
     Should an application not conform to these 
margin or page limits, SAMHSA will use the following method to 
determine compliance: The total area of the Project Narrative 
(excluding margins, but including charts, tables, graphs and 
footnotes) cannot exceed 58.5 square inches multiplied by the page 
limit. This number represents the full page less margins, multiplied 
by the total number of allowed pages.
     Space will be measured on the physical page. 
Space left blank within the Project Narrative (excluding margins) is 
considered part of the Project Narrative, in determining compliance.

--The page limit for Appendices cannot be exceeded.

    To facilitate review of your application, follow these 
additional guidelines. Failure to adhere to the following guidelines 
will not, in itself, result in your application being screened out 
and returned without review. However, the information provided in 
your application must be sufficient for review. Following these 
guidelines will help ensure your application is complete, and will 
help reviewers to consider your application.

--The 10 application components required for SAMHSA applications 
should be included. These are:

     Face Page (Standard Form 424, which is in PHS 
5161-1).

     Abstract.
     Table of Contents.
     Budget Form (Standard Form 424A, which is in 
PHS 5161-1).
     Project Narrative and Supporting 
Documentation.
     Appendices.
     Assurances (Standard Form 424B, which is in 
PHS 5161-1).
     Certifications (a form within PHS 5161-1).
     Disclosure of Lobbying Activities (Standard 
From LLL, which is in PHS 5161-1).
     Checklist (a form in PHS 5161-1).
--Applications should comply with the following requirements:

     Provisions relating to confidentiality, 
participant protection and the protection of human subjects 
specified in Section IV-2.4 of the specific funding announcement.
     Budgetary limitations as specified in 
Sections I, II, and IV-5 of the specific funding announcement.
     Documentation of nonprofit status as required 
in the PHS 5161-1.

--Pages should be typed single-spaced with one column per page.
--Pages should not have printing on both sides.
--Please use black ink and number pages consecutively from beginning 
to end so that information can be located easily during review of 
the application. The cover page should be page 1, the abstract page 
should be page 2, and the table of contents page should be page 3. 
Appendices should be labeled and separated from the Project 
Narrative and budget section, and the pages should be numbered to 
continue the sequence.
--Send the original application and two copies to the mailing 
address in the funding announcement. Please do not use staples, 
paper clips, and fasteners. Nothing should be attached, stapled, 
folded, or pasted. Do not use any material that cannot be copied 
using automatic copying machines. Odd-sized and oversized 
attachments such as posters will not be copied or sent to reviewers. 
Do not include videotapes, audiotapes, or CD-ROMs.

Appendix D: Glossary

    Conference: A conference is a regional workshop or any other 
organized and formal meeting lasting 1 or more days where persons 
assemble to exchange information about the science and practice of 
substance abuse and/or mental health identification, treatment, and 
prevention. Conferences must be open to a broad constituency of 
interests and skills that include providers, practitioners, 
researchers, advocates, consumers, family members, and the general 
public.
    Conferences that focus on a single audience, such as training 
sessions for volunteers or practitioners, or seminars for 
researchers, do not fit this definition.
    Cost-Sharing or Matching: Cost-sharing refers to the value of 
allowable non-Federal contributions toward the allowable costs of a 
Federal grant project or program. Such contributions may be cash or 
in-kind contributions. For SAMHSA grants, cost-sharing or matching 
is not required, and applications will not be screened out on the 
basis of cost-sharing. However, applicants often include cash or in-
kind contributions in their proposals as evidence of commitment to 
the proposed project. This is allowed, and this information may be 
considered by reviewers in evaluating the quality of the 
application.
    Grant: A grant is the funding mechanism used by the Federal 
Government when the principal purpose of the transaction is the 
transfer of money, property, services, or anything of value to 
accomplish a public purpose of support or stimulation authorized by 
Federal statute. The primary beneficiary under a grant or 
cooperative agreement is the public, as opposed to the Federal 
Government.
    In-Kind Contribution: In-kind contributions toward a grant 
project are non-cash contributions (e.g., facilities, space, 
services) that are derived from non-Federal sources, such as State 
or sub-State non-Federal revenues, foundation grants, or 
contributions from other non-Federal public or private entities.
    Practice: A practice is any activity, or collective set of 
activities, intended to improve outcomes for people with or at risk 
for substance abuse and/or mental illness. Such activities may 
include direct service provision, or they may be supportive 
activities, such as efforts to improve access to and retention in 
services, organizational efficiency or effectiveness, community 
readiness, collaboration among stakeholder groups, education, 
awareness, training, or any other activity that is designed to 
improve outcomes for people with or at risk for substance abuse or 
mental illness.
    Practice Support System: This term refers to contextual factors 
that affect practice delivery and effectiveness in the pre-adoption 
phase, delivery phase, and post-delivery phase, such as (a) 
community collaboration and consensus building, (b) training and 
overall readiness of those implementing the practice, and (c) 
sufficient ongoing supervision for those implementing the practice.
    Stakeholder: A stakeholder is an individual, organization, 
constituent group, or other entity that has an interest in and will 
be affected by a proposed grant project.

    Dated: March 25, 2004.
Margaret M. Gilliam,
Acting Director, Office of Policy Planning and Budget, Substance Abuse 
and Mental Health Services Administration.

[FR Doc. 04-7269 Filed 3-31-04; 8:45 am]
BILLING CODE 4162-20-P